Last Updated on July 12, 2020 by Jose Villegas Jr.
What is an audit?
According to ISO 9000:2005, the Fundamentals and Vocabulary standard, an audit is:
“A systematic, independent, and documented process, for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled.”
In other words, making sure that what is going on in practice is in line with policies, processes, and procedures.
Audits should be carried out to look for areas for improvement and best practice. They should not be adversarial or confrontational. Internal audits should be formal, planned, and organized. They are conducted in an impartial and objective manner following an agreed scope and procedures. Audits are used to gather facts and determine the degree to which requirements are being met.
Furthermore in ISO 9001:2015 requirement for an audit was stated particularly in Section 9.2 Internal Audit Clause 9.2.1 The organization shall conduct internal audits at planned intervals to provide information on whether the quality management system:
a) conforms to:
1) the organization’s own requirements for its quality management system;
2) the requirements of this International Standard;
b) is effectively implemented and maintained.
Types of audit
There are three types of audits:
First-party, second-party, and third-party. First-party audits are internal audits while second and third-party audits are external audits.
Organizations use first-party audits to audit themselves. First party audits are used to provide input for management review and for other internal purposes. They’re also used to declare that an organization meets specified requirements (this is called a self-declaration).
Second party audits are external audits. They’re usually done by customers or by others on their behalf. However, they can also be done by regulators or any other external party that has an interest in an organization. Third party audits are external audits as well. However, they’re performed by independent organizations such as registrars (certification bodies) or regulators.
ISO also distinguishes between horizontal audits and vertical audits. When all departments are audited against one element of ISO 9001:2015 standard, it’s called a horizontal audit; and when one department is audited against all elements of ISO 9001:2015 standard it’s called a vertical audit.
Presented here is an example of the first-party internal audit being conducted in Construction company.
Samples of Internal Audit Forms for Construction Company
PRE-QUALIFICATION AND BIDDING
Estimation
PROJECT PLANNING AND CONTROL
Project Planning and Control Audit 1
Project Planning and Control Audit 2
Project Planning and Control Audit 3
Project Planning and Control Audit 4
Project Planning and Control Audit 5
PROCUREMENT
Procurement Process
Material Submittal and Client Approval
Sub-contractor Assessment
Auditing Sub-contractor
Coordination, Confirmation, and Follow-up of MSR
CONTRACT MANAGEMENT
Contract Review Process
Preparation of Sub-Contract Documentation
1. Pre-qualification and Bidding
a. Estimation
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: ESTIMATION | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | Preparation of Pre-qualification documents –QMSP-BD-01 6.1 | Please show me the pre-qualification related document, which you receive for bidding purpose i.e. the following: Invitation letter to submit pre-qualification b) Project Information c) Details of the scope of work d) Pre-qualification questionnaire |
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| 2. | 6.3 | Please show me an example of filled up Pre-qualification filled-up questionnaire i.e. company profile, banker references, Project approach etc. | ||
| 3. | 6.5 | May I see the sample of Financial statements and audited accounts reports which normally you enclose with the bidding documents |
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| 4. | WI-BD-01 Preparation of Technical Submittal – Clause 4. | Show me a list of Technical submittal you prepare complying clause 4 of WI-BD-01 i.e. Executive Summary, Company Profile, Projects undertaken, Resources. |
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2. Project Planning and Control
a. Project Planning and Control Audit 1
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT PLANNING AND CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PC-01 Project Initiation Document – 6.2 | Project Manager / Director Operation / Technical Manager Once the Contract is awarded and the documents are received by Project Manager, Technical Manager what do you do? That is the preparation of shop drawings, Budget preparation, Planning etc. |
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| 2. | QMSP-PC-02 Project Planning – 6.2.1 6.2.2 | Planning Engineer Show me the detailing required in the final construction schedule and the project milestones to be achieved, as per the contract documents. Work Breakdown Structure, Bar chart CPM etc. |
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| 3. | QMSP-PC-03 – 6.5 | Show me manpower histogram, Equipment Histogram, and approved Base Line Program. |
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| 4. | 6.2.9QMSP- PC-02 | Please show me how do you distribute the indirect cost over the entire duration of the project including the maintenance period and tabulate the same month-wise, based on the project construction schedule. |
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| 5. | QMSP-PC-03 | Project Manager / Director Operation Do you approve the Schedule prepared by Planning Engineer? |
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| 6. | Project Budget Preparation | Show me the Project Budget. |
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b. Project Planning and Control Audit 2
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT PLANNING AND CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PC-03 – 6.6 | Planning Engineer Do you distribute copies of the approved budget to procurement manager, the project manager, cost control, and Operation Director / EVP, and if applicable, to technical manager (C&A) and technical manager (E/M)? Provide me an evidence? |
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c. Project Planning and Control Audit 3
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT PLANNING AND CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PC-04 Preparation and Review and Approval of Shop Drawings – 6.1.1 |
Technical Manager Please show me drawing submittal schedule in the database including the status of the drawing submittal for any project. |
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| 2. | 6.1.5 | Do you receive a copy of the construction program from the project manager or planning manager? Show me a copy? | ||
| 3. | 6.1.7 | Do you prepare a shop drawings schedule and finalize the dates with the project manager? Show me a sample? | ||
| 4. | 6.1.8 | Show me the format of Title Block as per WI-PC-02. |
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| 5. | 6.1.9 | Do you review all documents (like contract drawing, specification, and bill of quantity) relevant to the preparation of shop drawings? Show me a copy of those document you review. | ||
| 6. | 6.1.11 | Do you prepare a list of contract drawings required, before starting the preparation of shop drawings? Please show me a sample. |
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| 7. | 6.2.2 Review | Do you review with the concerned personnel i.e. your draftsmen, and monitor the progress of drawing preparation? |
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d. Project Planning and Control Audit 4
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT PLANNING AND CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PC-04 Preparation and Review and Approval of Shop Drawings – 6.3.3. Progress Monitoring | Technical Manager Please show me the report on the number of drawings completed and update the report status log, including final dates by which commented drawings should be returned, and update the drawing submittal schedule. |
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| 2. | 6.5.2 Issuance of Shop drawings | Do you review and sign the submittal form for issuance of shop drawing? | ||
| 3. | 6.6 | Do you maintain a drawing circulation list and update it regularly and ensure that the previous version of the drawing is withdrawn? | ||
| 4. | WI-PC-02 – 5.1 Title Block | Show me a sample of Title Block you use in your shop drawings |
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| 5. | WI-PC-04 – 5 | Do you have a unique number system you use in all shop drawings? | ||
| 6. | WI-PC-03 Coordination of shop drawings WI-PC-05 Drwg. and material submittal form |
Please show me your records i.e. Coordination Log and the stamped drawings as “FOR COORDINATION” Document Control Please show me shop drawing and material submittal form. |
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e. Project Planning and Control Audit 5
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT PLANNING AND CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | WI-PC-01 Indirect Cost Breakdown |
Quantity Survey / Finance Manager Do you ensure that Indirect Cost Breakdowns are calculated as per this work instruction? Please provide me a sample. |
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| 2. | QMSP-PC-03 Project Budget Preparation 6.1, 6.1.1, 6.1.2 |
QS, Planning, Project Manager, Director Operations, Finance Manager, Planning Engineer Do you prepare direct cost break down details for your respective scope of responsibility i.e.? – Bill of quantities with item-wise direct cost breakdown showing manpower, equipment, materials, subcontractor and miscellaneous as applicable. – Total Project requirement for Material, Equipment, manpower, Sub-Contractors, their scope of works etc. – And the sum of both indirect cost and direct cost which gives the budget for the project – Please show me an APPROVED BUDGET, and that the copies are distributed to procurement manager, the project manager, cost control, and Operation Director / EVP, and if applicable, to the technical manager (C&A) and technical manager (E/M). |
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3. Procurement
a. Procurement Process
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROCUREMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PC-01 Procurement Process – 6.1 |
Procurement Director / Procurement Manager / Officers Show me the material submittal schedule for each project. |
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| 2. | 6.1.3 | Please show me the dates by which materials or services are required at the site and do you forward this to the relevant project Procurement staff and the Project Manager. | ||
| 3. | 6.2.1 | Show me few inquiry packages for each material or service to be procured, including specifications, drawings, contractual requirements for inviting quotations from Suppliers / Sub-contractors. | ||
| 4. | 6.2.2 | Show me a list or database of all approved suppliers and sub-contractors. |
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| 5. | 6.2.4 | I would like to see a compilation of all quotations and a commercial a comparison statement, indicating any commercial deviation between inquiry package and the supplier’s or Sub Contractor offer. | ||
| 6. | 6.3.1 | Do you keep a record of final negotiation with accepted suppliers / sub-contractors? Show me the summarized report on above and EVP approval. |
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b. Material Submittal and Client Approval
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROCUREMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PR-02 Material Submittal and Client Approval 6.1 |
Technical Manager / Procurement Manager / Division Head Show me the Material Submittal Schedule containing all the relevant information. |
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| 2. | 6.1.7 | Show me the weekly updates on Material Submittal Schedule Status Report. | ||
| 3. | 6.3.5 | Do you send and receive a minimum of three quotations? | ||
| 4. | 6.4.1 Technical Review | Who is doing the technical review of the quotations received from the suppliers / sub-contractors? Show me an evidence that the quotations have been reviewed technically. |
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| 5. | 6.5 Material Submittal for Client / Consultant’s approval | Show me the submittal/ transmittal form you use for Material submittal to the Client / Consultants. | ||
| 6. | 6.5.10 Category 4 | In case the Material is not approved how the resubmission is done? For major items do you obtain EVP approval? |
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c. Sub-contractor Assessment
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROCUREMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PR-03 Sub-contractor Assessment 6.3.1 |
Procurement Director / Procurement Manager / QA/QC Manager Show me a vendor quality assurance questionnaire you send to the proposed Sub Contractor. |
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| 2. | 6.3.2 | I would like to see the review of QA/QC Manager of Sub-contractor completed Assessment form. | ||
| 3. | 6.4.1 | On what basis do you or EVP approve the sub-contractor? | ||
| 4. | 6.4.3 | May I see the register of approved Sub-contractors? |
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| 5. | 6.5.1 | Please show me the sub-contractors performance evaluation carried out by the Project Manager and sent to the Procurement Director and QA/QC Manager? | ||
| 6. | 6.5.3 | Has any time a sub-contractor disqualified by EVP, and memo issued to Procurement Director and QA/QC Manager? |
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d. Auditing Sub-contractor
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROCUREMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PR-04 Auditing Sub-contractors 6.1.1 |
QA/QC MANAGER Has the Procurement Manager / Director provided you the Assessment form filled-in by the sub-contractor? |
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| 2. | 6.1.5 | Did you notify the auditee in writing about the date, time, place, and scope of the audit? | ||
| 3. | 6.1.6 | Did you Review the technical requirements of the proposed purchase and prepare a checklist of points to be verified during the audit, after reviewing the Sub Contractor evaluation questionnaire (SAR) received from them. Show me, please? | ||
| 4. | 6.2 Execution of Audit | Show me the audit report carried out on sub-contractors, the audit notification, audit schedule etc. |
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e. Coordination, Confirmation, and Follow-up of MSR (Material Stock Request)
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROCUREMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-PR-05 Coordination, Confirmation, and Follow-up of MSR 6.1.1 Review and Confirmation of MSR (Material Stock Request) |
Procurement Manager / Construction Manager / Engineers Construction Manager: Do you receive a copy and review the following documents and that you forward it to your Engineers? Show me, please. i) Contract Drawings ii) Bills of Quantities iii) Specifications iv) Submittals v) Consultant’s Comments on Approved Submittals |
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| 2. | 6.1.5 | Project Engineers/Site Engineers Do you check and review the MSR (Material Stock Request) and confirm the following as required? i) Technical details as per approved submittal and project specifications ii) Quantities of the critical items iii) Other requirements such as O&M Manuals, spare parts lists, testing and, commissioning. I would like to see a documentary evidence that you review those MSR. |
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| 3. | QMSP-PR-05 Coordination, Confirmation, and Follow-up of MSR 6.2 Material Delivery Follow-up |
Procurement Manager Do receive updated material status reports showing deliveries made, and instruct Procurement Engineer / Logistics Operations Manager to follow up for pending items which are required by the site? |
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| 4. | 6.2.2 | Do you inform the site about the delivery dates for any revised required items? |
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| 5. | 6.2.7 | Do you liaise with stores and advise as required for the collection of materials from Suppliers and the dates and details of incoming materials requiring storage? Show me how you do it? Any documentary evidence? | ||
| 6. | 7. Records | Please show me all correspondence related to follow-up of MSRs and Project-wide records. |
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4. Contract Management
a. Contract Review Process
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: CONTRACT MANAGEMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-CM-01 Contract Review Process 6.2 Review at Tendering Stage |
Contract Administrator / Quantity Surveyor Do you review the Contract Documents in accordance with the procedure stated in 6.2.1 thru 6.2.5 i.e. check the contract documents, study the conditions of the contract, prepare a schedule of clarifications/ amendments required etc.? Show me your Report which you submit to C & A or Bidding division. |
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| 2. | 6.3 Review prior to signing the Contract | How do you review prior to signing the contract in accordance with the procedure stated in 6.3.1 thru 6.3.4 i.e. Study the draft contract prepared by the consultant/ client, ensure all terms and conditions are incorporated as agreed during tender negotiations, etc. | ||
| 3. | 7. Records | Please show me Project Contract and all correspondences and clarifications to/from the client. |
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b. Preparation of Sub-Contract Documentation
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: CONTRACT MANAGEMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-CM-02 Preparation of Sub-contract documentation 6.0 |
Contract Administrator / Senior QS / Procurement Manager Show me the sub-contract agreement you prepare and the review of Finance division in regards to terms of payment. |
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| 2. | 6.9 | Show me the acknowledgment receipt of the distribution of copies of the sub-contract to the project manager, procurement manager, finance manager, QS department and cost control manager, and that the original is maintained with the contracts section. |
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c. Handling of Customer Complaint
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: CONTRACT MANAGEMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-CM-03 Handling of Customer Complaint 6.1.2 Receipt and Evaluation of the complaint |
Contract Administrator / Senior QS / QC Engineer / QC Manager Show me the complaint register, and signed the acknowledgment of Operation Manager / Director for his review. |
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| 2. | 6.2 Assessing the Complaint | Show me the documentary evidence that assigned Manager reviews the complaint and suggest rectification to the Operation Director who then forwards it to the Client. | ||
| 3. | 6.3 | Show me the corrective action taken and inspected and approved by the Client. | ||
| 4. | 6.4.3 | Show me the copies of all investigation reports, correspondence, closed out customer-complaints forms and statement of acceptance by the client filed in the complaints file maintained by the contracts administrator, and in the project, the file maintained with the assigned discipline manager. |
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d. Measurement of Customer Satisfaction
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: CONTRACT MANAGEMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1 QMSP-CM-04 Measurement of Customer Satisfaction |
Operation Director / Project Manager Show me the documents which would indicate Customer satisfaction i.e. 1. Pre-qualifications 2. Payment certificates 3. Handing over certificates 4. Customer Complaints 5. Repeat Business 6. New Customers 7. Visit Reports 8. Appreciation Letters 9. Satisfaction Surveys, wherever feasible. |
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| 2. | 6.2 Prequalification | Planning Engineer to forward a yearly list of pre-qualification submittals done along with their available results to EVP. Show me the list. | ||
| 3. | 6.3 Payment and Handing Over Certificates | QS and Contract Manager to forward at the end of every Gregorian year, the status of payment certificates for all the projects that are current or completed during the year to EVP indicating receipt of / delay in payments. QS and Contracts to also forward a copy of all (initial and final) handing over certificates received during that year, to EVP. Show me the documents, please. |
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| 4. | 6.6. Visit Report-QMSP-CM-04 Measurement of Customer Satisfaction |
Project Manager / QS Show me that you have forwarded copies of site/ client visit reports that highlight customer feedback regarding Company performance, to EVP, with the copy to the QA Manager. |
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| 5. | 6.7 Appreciation Letters | Operations manager/ contracts administrator/ project managers / other concerned staff to show that copies of client appreciation letters/citations/ certifications that highlight customer feedback regarding Company performance are forwarded to EVP, with the copy to the QA Manager. |
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| 6. | 6.5 Repeated Business | Bidding Manager / QS to prepare the report on the number of retained / repeat businesses won during the year and forward to EVP. |
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| 7. | 6.8 Satisfaction Survey | The Operations manager to send/ give a survey questionnaire to the client representative requesting critical feedback on the performance of the Company in the specific project. Show me in case you have received such data. |
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5. Material Storage and Delivery
a. Receipt and Checking of In-coming Materials
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: MATERIAL RECEIPT AND STORAGE AND DELIVERY | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1.1 QMSP-MT-01 Receipt and Checking of in-coming Materials | Store Manager / Store Keeper / Store in-charge I would like to see whether incoming materials have necessary supporting documents, i.e., the material supply requisition and local purchase order, and the delivery note. |
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| 2. | 6.2.2 | Do you visually check all equipment and materials before unloading, any documentary evidence where you checked and found damaged items, and then what is your action? | ||
| 3. | 6.2.4 | Do you check the materials after unloading for quantity, quality of supplies and identification details, as required by the purchase order, specification and drawings? | ||
| 4. | 6.2.6 | How do you segregate the damaged and unacceptable material and identify them? |
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| 5. | 6.5 | Show me the copy of the MRV (Material Receipt Voucher) along with the original invoice to be sent to the Accounts department. |
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b. Storage and Issue Control of Materials
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: MATERIAL RECEIPT AND STORAGE AND DELIVERY | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1.1 and 6.1.2 QMSP-MT-02 Storage and Issue Control of Materials | Store Manager/ Store Keeper/ Store in-charge Show me the stock of all received and accepted materials as per the location codes provided in the computer, and the stock all rejected / surplus materials at the space provided for rejected materials or with the identification tags. |
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| 2. | 6.2 | Show me the updated stock status of material on the computer. | ||
| 3. | 6.3.1 | Show me the Material Supply Requisitions you receive from the procurement department, signed by the Project Manager and coordination department. | ||
| 4. | 6.3.2 | Do you check the availability of materials, note down the availability in the MSR, get store manager’s signature and send it back to Procurement? Show me the documentary evidence. |
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| 5. | 6.3.3 | Show me the material issue voucher (MIV) which you get it signed by the requester, and issue the available materials to the site, and also prepare materials issue voucher (MIV) and stores transfer voucher (STV), for materials to be transferred to the site stores. | ||
| 6. | 6.3.4 | Show me MRV and MIV to issue the materials to the site. |
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| 7. | 6.3.7 | Show me the monthly report of stock materials sent to Accounts. |
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| 8. | 6.4 QMSP-MT-02 Storage and Issue Control of Materials | Store Manager/ Store Keeper/ Store in-charge How do you monitor the shelf life of materials in stock and withdraw / clearly identify any materials which has exceeded its life period? Show me an example. |
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| 9. | 6.5 | How do you identify the materials which are to be stored within controlled conditions and maintain them under the required conditions? Show me an example. |
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6. Project Quality and Control
a. Inspection and Testing of Materials
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT QUALITY CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1 and 6.2 QMSP-QC-01 Inspection and Testing of Materials | Project Managers, Store Keepers, Assigned project personnel QC Manager/Engineer /Lab in-charge To QC Engineer: Show me the LPO/Sub-contract agreement if Pre-shipment stage Inspection has been incorporated in the document? |
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| 2. | 6.4 | Show me Material inspection Request, and RFI (Request for Inspection / Process check-list) Completed form and NCR form and the Log for RFI and NCR and its status. | ||
| 3. | 6.3 Receiving Inspection | To Store Keeper Show me the MRV (Material Receipt Voucher) for inspection of received material, and that damage is reported. |
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| 4. | 7. Records | Do you maintain Lab test reports and submit it to the Engineer? Please show me. |
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b. Final Inspection and Testing and Commissioning
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT QUALITY CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.2 QMSP-QC-02 Final Inspection and Testing & Commissioning | Construction Manager, Electrical Engineer, Mechanical Engineer Representative of Manufacturer / Supplier, Equipment specialist (if applicable) Show me the format for each system / Equipment mentioning the respective system/ equipment details and the inspection/testing parameters. |
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| 2. | 6.3 | Show me the Inspection Report of each system/equipment signed off by the Engineer. | ||
| 3. | 6.4 Final Testing | Do you keep a record of explaining the client the method of testing a particular equipment or system from the O & M Manual? | ||
| 4. | 6.4.4 | Show me the signed form that Client is satisfied with the testing of the system. |
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| 5. | 6.5 Final Commissioning | Show me the final Commissioning Report. |
c. Nonconformance Control
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: PROJECT QUALITY CONTROL | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.3 QMSP-QC-03 Non-Conformance Control | Site QA/QC and Divisional Heads Do you maintain Internal NCR Log? |
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| 2. | 6.3.2 | Show me NCR Log issued by the Engineer and its disposition and status. | ||
| 3. | 6.3.4 | Show me the correspondence that you follow it up until the corrective action is taken. | ||
| 4. | 6.3.7 | Show me the Engineer sign off-site for close out of NCR i.e. once the corrective action is taken and inspected by the Engineer. |
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| 5. | 7. Records | Show me the NCR and Site observation Notice Log. | ||
| 6. | QMSP-QC-04 Corrective and Preventive Action 6.3 | Do you carry out the root cause analysis to identify why the problem got repeated? Can you show me a few examples? |
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7. Quantity Survey
a. Handling of Variations and Claims
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: : QUANTITY SURVEY | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-QS-02 Handling of Variations and Claims 6.1 Variation issued by the Client |
Project Manager, Site Quantity Surveyor, Contracts Administrator To Site QS: Show me the Client issued Variation and your proposal showing all the details of additional / deleted scope of works and the cost effect, in order to accommodate the changed requirement and that you submit it to the project manager. |
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| 2. | 6.1.6 | Show me the variation Log and that it is approved by the Client, and that approved copies are distributed to QS department, contracts administrator, planning, procurement, Director Operations, and finance divisions. | ||
| 3. | 6.1.7 and 6.1.8 | To PM: Do you maintain a register of all variations and maintain separate file with complete information for each variation. Show me the Register? Show me a monthly report of all variations you forward it to the quantity surveyor and contracts administrator, each month. |
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| 4. | 6.2 Contractor Claim | Do you maintain the record and inform the site quantity surveyor and the contract administrator, of any matter for which you feel that an additional entitlement for the benefit of the organization arises in respect of time or money? |
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| 5. | 6.2.2 and 6.2.3 | To Site QS Do you prepare a formal claim with supporting documents and forward the same to the contract administrator for their comments as well as obtain approval of EVP? Show me the Log and such claims approved by the Contract administrator and that you submitted it to the Engineer for approval. |
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| 6. | 6.2.5 | To Contract Administrator / PM / Site QS I would like to see that you maintain separate full set records of all claims raised. |
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8. WORKSHOP AND MAINTENANCE
a. Maintenance of Vehicles and Equipment
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: WORKSHOP AND MAINTENANCE | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1 QMSP-WS-01 Maintenance of Vehicles and Equipment |
Workshop manager, Workshop Engineer, Workshop foreman Workshop secretary, Operations department, Workshop stores in-charge Do you maintain a log of all vehicles and equipment of the Division? The log shall contain the following details:
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| 2. | 6.1.3 | I would like to see separate files for each vehicle / equipment of the division, which shall contain all information about the history of the vehicle, allotment of the vehicle / equipment to projects, and the maintenance carried out; moreover each vehicle/equipment should have unique identification number. |
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| 3. | 6.2 Routine Maintenance | Show me the job cards of routine maintenance carried out on each vehicle and equipment. |
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| 4. | 6.2.7 Spare Parts in Stores | Show me the list of all spare parts you maintain in your Store for vehicles and equipment. |
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| 5. | 6.2.14 QMSP-WS-01 Maintenance of Vehicles and Equipment | Show me the time sheets and the repair invoices approved by the Workshop Manager. |
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| 6. | 6.2.15 and 6.2.16 | Show me the Orders and the quotation you receive to repair the vehicles/ equipment outside. |
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| 7. | 6.3 Break-down Repairs | Show me a vehicle/ equipment repair request, obtained from the site engineer’s for necessary repair. |
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| 8. | 6.4.2 Maintenance at Project Site | Show me the list of all vehicles/ equipment, and their maintenance requirements with frequencies. This shall be based on the operating conditions and as recommended by the equipment manufacturer. |
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| 9. | 6.4.3 and 6.4.4 and 6.4.5 | Site equipment in-charge/operator shall carry out the regular maintenance activities and log the details in the register maintained at the site. Show me the Log maintained by the Operator. Moreover, do you maintain this register in the workshop and verify it frequently? Show me the evidence. |
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| 10. | 7. Records | Show me all the records as mentioned in QMSP-WS-01 i.e. Vehicle/Equipment Repair Request, Service Job Card, Maintenance Job Card, Material supply requisition etc. |
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9. Human Resources and Training
a. Recruitment
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: : HUMAN RESOURCES AND TRAINING | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.2 QMSP-HR-01 Recruitment | EVP – Executive Vice President, Director Operations, Human Capital Manager, Director Administration, Project/Department Managers Director Operations Show me the manpower requirements you have consolidated based on the project organization, construction schedule, manpower histogram. |
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| 2. | 6.5 | HR Manager How do you recruit candidates locally? |
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| 3. | 6.5.2 | Show me the request for manpower you receive from department head and process of recruitment i.e. short listing of resumes, skill test/ interview etc. | ||
| 4. | 6.5.4 and 6.5.5 | Show me a sample of offer you issue to selected candidate and that local regulatory and statutory requirements are complied once joined. |
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| 5. | 6.6.2 | Do you send the Company Rep. overseas for selection of candidates or select locally. Show me the interview reports. Selection criteria you use, and that the process for verification of candidate’s credentials? | ||
| 6. | 7. Records | Show me the Recruitment correspondence and Employee’s file. |
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b. Training
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: : HUMAN RESOURCES AND TRAINING | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1 QMSP-HR-02 Training | Human Capital/ Personnel Manager, Department Managers Project Managers. Do you induct a training program for all new employees? That is briefing the employee about commitment for quality, company rules, and safety practices and that they shall be given a copy of the company Quality Policy Statement signed by the EVP? |
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| 2. | 6.3 | Do you file the training program in the employees training record? | ||
| 3. | 6.4 | Project Manager / Department Manager Do you Identify project requirements, if any, which need an additional level of skills, and initiate action to upgrade the skill level of the required employees, through training? Show me the document where you have recommended for additional training. |
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| 4. | 6.6 | HR Manager Please show the performance evaluation sheet of employees forwarded by Department Managers to you. |
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| 5. | 7. Records | Show me copies of Training Certificates received/issued filed in the employee file. |
10. Quality System Management
a. Document and Data Control
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: : QUALITY SYSTEM MANAGEMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1.2 QMSP-QA-01 Document and Data Control | QA MANAGER Show me the File and that you maintain the master copies of all quality system documents bearing the original signatures. |
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| 2. | 6.1.5 | Show me a document distribution list for each document. | ||
| 3. | 6.1.6 | Are all copies shall be stamped “CONTROLLED COPY” in green ink? | ||
| 4. | 6.3 | Project Manager / Technical Manager (Project Specific Document) I would like to see that current documents are available with the required personnel and superseded documents are removed to prevent inadvertent use. |
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| 5. | 6.5.1.1 | Are forms originated from your department/ project, and referred in the quality system processes/ instructions, are identified by a form number/ title? | ||
| 6. | 6.5.1.3 | Show me a complete list of the forms, with a sample each, used in their respective department/ area/ project, are prepared, and is maintained in their area. |
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b. Management Review
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: : QUALITY SYSTEM MANAGEMENT | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-QA-02 Objective Setting, Monitoring, Management Review |
Management Representative Show me the following Reports: Quality Objectives Sheet Half yearly review reports of Objectives Agenda for Management Review Meeting Minutes of the management review meeting |
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| 2. | 7. Records QMSP-QA-03 Internal Quality Audit |
Provide the following: Original copies of annual audit schedule, check list, NCRs, audit reports and NCR status log
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| 3. | QMSP-QA-04 Control of Quality Records | Show me Quality Records Master log (FM-QA-013) |
11. Computer System
a. Maintenance of Computer Equipment and Networks
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: : COMPUTER SYSTEM | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | 6.1.8 QMSP-CS-01 Maintenance of Computer Equipment and Networks | IT MANAGER / DIRECTOR / HARDWARE ENGINEER Please show me documentary evidence i.e. a record of all breakdowns and repairs carried out and a record of all network-system downtimes caused by the breakdown and the subsequent repairs. |
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| 2. | 6.1.9 | Show me a document and an inventory where you plan and maintain the necessary hardware spares for the repair of the equipment. | ||
| 3. | 6.1.10 | Do you review the breakdown reports every month and take necessary measures in order to prevent the recurring type of problems, if any and to minimize the downtimes? Show me your review and the plan you undertake to prevent or minimize the problems? | ||
| 4. | 6.2.1 Preventive Maintenance | Show me a record that you maintain the following and update it regularly.
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| 5. | QMSP-CS-01 Maintenance of Computer Equipment and Networks 6.2.2 | IT MANAGER / DIRECTOR / HARDWARE ENGINEER Show me your maintenance Schedule and plan to carry out the routine maintenance of all computers and printers, to the extent as required for its smooth operations |
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| 6. | 6.2.3 | Show me a list where you maintain the inventory of normally required spares and tools for carrying out the maintenance and ensure that they are in stock. |
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| 7. | 6.2.4 | How do you administer the LAN daily operations and make sure that there is enough disk space in the server? |
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| 8. | 6.2.5 | What steps do you undertake to set up new systems for project operations? |
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| 9. | 7. Records | Show me the following records
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b. Purchase of Computer Hardware and Software
| (Name of Company Here) |
| INTERNAL QUALITY AUDIT CHECKLIST |
| Department/Process Description: : COMPUTER SYSTEM | Auditor: Jose S. Villegas Jr. | Date: |
| Check No. |
Process Description Clause No. |
Check / Question | Satisfactory- Yes/No |
Comments |
| 1. | QMSP-CS-02 Purchase of Computer Hardware and Software 6.1.2, and 6.1.3 |
IT MANAGER / DIRECTOR / HARDWARE ENGINEER Please show me the MSR (Material Supply Requisitions) you receive from Procurement for your technical advice for buying hardware. Show me review and comments. |
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| 2. | 6.3.4, 6.3.5 Processing the Requirements | Show me the quotations you receive to the required specifications from three competitive suppliers, and that you review it. I would like to see your signature on MSR issuing to Procurement for placing Order. | ||
| 3. | 6.4 Receiving, Inspection, Installation and Testing | Show me your inspection report for the item you receive in regards to its physical condition, any apparent damage, shortage or excess quantity, conformance to specification, Manuals, instructions, warranty cards, licenses as required. Do you maintain a check-list for inspection? | ||
| 4. | 6.4.3 Items Accepted | Once items are accepted by you do you
I need to see documentary evidence, please. |
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| 5. | QMSP-CS-02 Purchase of Computer Hardware and Software 6.4.4 |
Show me the files/folders for all the manuals and warranty cards. And that you fill up and register the warranty as required. | ||
| 6. | 7. Records | Please show me the following records
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